IECRE PUBLICATIONed4... · 2019-06-24 · IECRE 02 Edition 4.0 2019-02-08 IECRE PUBLICATION Rules of Procedure INTERNATIONAL ELECTROTECHNICAL COMMISSION PRICE CODE ZZ IEC System for

IECRE 02 Edition 4.0 2019-02-08

IECRE PUBLICATION

Rules of Procedure

IEC

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IEC System for Certification to Standards relating to Equipment for use in Renewable Energy applications (IECRE System)

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IECRE 02 Edition 4.0 2019-02-08

IECRE PUBLICATION

Rules of Procedure

INTERNATIONAL ELECTROTECHNICAL COMMISSION ZZ PRICE CODE

IEC System for Certification to Standards relating to Equipment for use in Renewable Energy applications (IECRE System)

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CONTENTS

CONTENTS............................................................................................................................ 2 FOREWORD .......................................................................................................................... 3 INTRODUCTION .................................................................................................................... 4 1 Scope ............................................................................................................................. 5 2 Normative References .................................................................................................... 5 3 Definitions and Abbreviations .......................................................................................... 5 4 Organizational Structure ................................................................................................. 5

4.1 OMCs ..................................................................................................................... 6 4.2 Numbering Definition .............................................................................................. 7 4.3 Working Groups (WGs) .......................................................................................... 8 4.4 Stakeholder Groups (SGs) ..................................................................................... 8 4.5 Task Forces (TFs) .................................................................................................. 8

5 Requirements for Participation in the IECRE System ...................................................... 9 5.1 Participation ........................................................................................................... 9

6 Deliverables of the IECRE System .................................................................................. 9 6.1 IECRE Test Reports (RETRs)................................................................................. 9 6.2 Product Certificates .............................................................................................. 10 6.3 Conformity Statements ......................................................................................... 11 6.4 Inspection Reports ............................................................................................... 11

7 Description of IECRE Operational Procedures .............................................................. 11 7.1 General ................................................................................................................ 11 7.2 Documents ........................................................................................................... 11

8 Peer Assessment Program ............................................................................................ 11 8.1 Acceptance of Renewable Energy Test Laboratories (RETLs) .............................. 11 8.2 Acceptance of Renewable Energy Certification Bodies (RECBs) .......................... 14 8.3 Acceptance of Renewable Energy Inspection Bodies (REIBs) .............................. 16 8.4 Acceptance of Renewable Energy Customer Test Facilities (RECTFs) ................. 18

Annex A – OMC Terms of Reference .................................................................................... 23 A.1 Schemes, Rules, Procedures and Standards ........................................................ 23 A.2 Alignment ............................................................................................................. 23 A.3 Applications Regarding Conformity Assessment ................................................... 23 A.4 Conformity Assessment ........................................................................................ 23 A.5 Stakeholder Engagement ..................................................................................... 24 A.6 Relationship with TCs/SCs ................................................................................... 24 A.7 Promotion of Schemes ......................................................................................... 24 A.8 WGs, SGs, TFs. ................................................................................................... 24

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INTERNATIONAL ELECTROTECHNICAL COMMISSION ____________

IEC System for Certification to Standards Relating to Equipment for Use in Renewable Energy Applications (IECRE System) –

Rules of Procedure

FOREWORD

This publication has been prepared by the IECRE for approval by the IEC Conformity Assessment Board (CAB).

The annexes to this publication are normative.

The text of this publication is based on the following document(s):

Document Report on Voting

REMC/102A/DV REMC/117/RV

REMC/198/DV REMC/227/RV

REMC/275/DFA REMC/317/RV

Document Owner

REMC WG 001

History of changes

Date Brief summary of changes

2018-03-01

The following clauses and sub-clauses have been modified:

Contents, Forward, Introduction, 1, 2, 3, 4, 4.1.1, 4.1.3, 4.1.4, 4.1.5, 4.2, 4.3, 4.4, 4.5, 5.1, 5.2, 6.1.1, 6.1.8, 6.2.1, 6.2.4, 6.2.5.3, 6.3, 6.4, 7.1, 8.1, 8.1.1, 8.1.2, 8.1.5, 8.1.6, 8.1.7, 8.1.9, 8.1.10, 8.1.11, 8.2, 8.2.1, 8.2.2, 8.2.5, 8.2.6, 8.2.7, 8.2.9, 8.2.10, 8.2.11, 8.3, 8.4, Annex B

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INTRODUCTION

IECRE System objective

The IEC System for Certification to Standards relating to Equipment for use in Renewable Energy applications (IECRE) operates Schemes with the aim of facilitating international trade by promoting and simplifying certification and approval at the national level through mutual recognition of test and inspection results. Renewable Energy Test Laboratories (RETLs) assessment requirements are sufficient for Renewable Energy Certification Bodies (RECBs) to accept Test Reports from RETLs. Renewable Energy Inspection Bodies (REIBs) assessment requirements are sufficient for RECBs to accept Inspection Reports from REIBs.

The Schemes shall be governed by the IECRE Management Committee (REMC), whose responsibilities in this respect are defined in the Basic Rules of the IECRE, as given in Publication IEC CA 01 & IECRE 01-S (the combination of which is referred to as the Basic Rules throughout this document). The IECRE System objectives, details and membership information are provided in the Basic Rules and at www.iecre.org.

The approved Sectors, given in the Basic Rules and on the IECRE website, are operated by Operational Management Committees (OMCs) defined herein.

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IEC System for Certification to Standards Relating to Equipment for Use in Renewable Energy Applications (IECRE System) –

Rules of Procedure

1 Scope

The IECRE System includes assessment and certification of equipment and services covered by IEC and ISO International Standards and publications for Renewable Energy applications as are proposed by its IECRE Management Committee (REMC) and approved by the IEC Conformity Assessment Board (CAB), taking into account that several components or equipment are covered by other IEC CA systems, like IECEE. Sectors approved to operate under the IECRE System are listed on the IECRE website (www.iecre.org) and in the Basic Rules.

2 Normative References

The following publications contain provisions which, through reference in this text, constitute provisions of these Rules of Procedure. The IECRE Management Committee (REMC) shall decide the timetable for the introduction of new publications or revised editions of existing publications. Unless otherwise identified, the most current edition shall be used. IEC CA 01, IEC Conformity Assessment Systems – Basic Rules [Including IECRE Supplement: IECRE 01-S] ISO/IEC Guide 2, Standardization and related activities – General vocabulary ISO/IEC 17000, Conformity Assessment: Vocabulary and general principles ISO/IEC 17020, General criteria for the operation of various types of bodies performing inspection ISO/IEC 17021, Conformity assessment – Requirements for bodies providing audit and certification of management systems ISO/IEC 17024, Conformity Assessment – General requirements for bodies operating certification of persons ISO/IEC 17025, General requirements for the competence of testing and calibration laboratories. ISO/IEC 17040, Conformity assessment – General requirements for peer assessment of conformity assessment bodies and accreditation ISO/IEC 17043, Conformity assessment – General requirements for proficiency testing ISO/IEC 17065, Conformity Assessment – Requirements for bodies certifying products, processes and services ISO/IEC 17067, Conformity assessment – Fundamentals of product certification and guidelines for product certification schemes. ISO 9001, Quality management systems – Requirements

3 Definitions and Abbreviations

Please see IECRE Publication “Acronyms, Terms and Definitions”.

4 Organizational Structure

The organization structure of the IECRE is outlined in the Basic Rules. The Rules of Procedure define the following:

• Marine Energy Sector - Operational Management Committee (ME-OMC);

• Solar PV Energy Sector - Operational Management Committee (PV-OMC);

• Wind Energy Sector - Operational Management Committee (WE-OMC);

• Working Groups (WG);

• Stakeholder Groups (SG); and

• Task Forces (TF).

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4.1 OMCs IECRE operates in three Sectors, Marine energy, Solar PV energy and Wind energy. All three Sector Operational Management Committees (OMCs) report directly to the REMC and have a defined Terms of Reference as seen in Annex A. The REMC created three OMCs to manage the special requirements of the Sectors and to prepare rules documents and proposals for REMC decision. OMCs may create Working Groups (WGs) and Stakeholder Groups (SGs) to deal with specific areas in a continuous time horizon or Task Forces (TFs) for a specific period of time or for specific projects.

4.1.1 Membership Members of an OMC(s) shall be IECRE Member Bodies whom have declared desired participation in the respective Sector(s) to the Secretariat. Additionally, Chairs and Secretaries of TC82, TC88 and TC114 are members without vote. Dues are defined in OD-001.

4.1.2 Sector Leadership a) The Chair (with casting vote only); b) The immediate past Chair (without vote); c) The Vice-Chair (without vote); and d) The IECRE Executive Secretary (without vote).

The Chair of each Sector Operational Management Committee (OMC) and any other Committee established by the REMC is appointed by the REMC for a period of three years, on the nomination of the committee established by the REMC. They are eligible for re-appointment in the same office for one further period of three years. If at the conclusion of a second or subsequent term there are no new candidates nominated for election to the position, the Sector OMC may by specific resolution, outlining the circumstances, propose to the REMC that the incumbent Chair be appointed to a further term of three years in that position.

The Chair shall be responsible to the REMC and shall ensure that the affairs concerning the Sector are conducted in accordance with the agreed Rules.

The principal duties of the Committee Chair are to:

a) convene meetings of the IECRE established Committee;

b) preside over the meetings;

c) decide upon the agendas for the meetings;

d) act on behalf of the Committee between its meetings; and

e) report on behalf of the Committee to the REMC.

The Chair may attend all meetings within the Sector, ex officio, without vote in this capacity.

In the event of the Chair’s being unable to fulfil his duties, the Vice-Chair shall deputize for them.

The Vice-Chair of each Sector OMC and any other Committee established by the REMC is appointed for a period of three years by the REMC, on the nomination of the REMC established Committee. They are eligible for re-appointment in the same office for one further period of three years. If at the conclusion of a second or subsequent term there are no new candidates nominated for election to the position, the Committee may by specific resolution, outlining the circumstances, propose to the REMC that the incumbent Vice-Chair be appointed to a further term of three years in that position.

The Vice-Chair may at the same time be a national delegate to the Committee, except when they takes the chair at a meeting. In the absence of the Sector OMC Chairman, the Sector OMC Vice-Chairman shall act in their place.

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The Chair and the Vice-Chair of the OMC and Committees under the IECRE System shall take office on the first day of January of the year after the meeting of the REMC at which they have been appointed unless otherwise determined by the REMC.

4.1.3 Meetings Meetings of the OMC shall be held at least annually. In preparing the agenda, the IECRE Executive Secretary and the OMC Chair shall, as far as possible, list all the documents related to the various items for discussion. The OMC may refuse to consider matters set before it if the relevant documents have not been circulated in accordance with the Basic Rules. Member Bodies may select a delegation of not more than 3, including a Head of Delegation, for attendance at OMC Plenary meetings, unless decided otherwise by the Sector OMC. The delegation shall take account of all interests in the conformity assessment process at national level, including those of regulatory authorities, equipment users, manufacturers, service providers and conformity assessment bodies. WG, SG and TF Conveners may attend the OMC meetings at the invitation of the Chair, as observers. Additional observers, nominated by a Member Body or invited by the Chair, may attend the OMC Plenary meetings based on host space, etc. The observers shall have no right to vote, and their right to speak shall be determined by the OMC Chair. OMCs may consider allowing SGs to be given a voice in general discussions and to be allowed to comment as a SG prior to any voting taking place amongst the Member Bodies. Draft minutes of the meetings of the OMC shall be circulated by the IECRE Executive Secretary to all Members of the OMC within one month of the meeting, as seen in the Basic Rules. The OMC provides a report on its activities at least annually to the REMC and submits proposals for approval by the REMC with regard to: a) Modifications to the OMC Rules of Procedure; b) The appointment of Sector Chair and Vice-Chair of the OMC; c) The annual financial forecast and business plan for the OMC; d) Proposals for extensions to the scope of the Sector Schemes; e) Proposals for the use of normative documents other than IEC or ISO International Standards; and f) Acceptance of RECBs, RETLs and REIBs.

4.1.4 Voting Each Member Body has one vote. Comments received on any DV or DFA shall be responded to by the relevant WG, SG or TF. All other voting requirements are as per the Basic Rules.

4.1.5 Withdrawal A Member Body wishing to withdraw from membership of the OMC(s) shall give at least one calendar year's notice. This Member Body shall pay its annual dues for the calendar year following the year during which the notice was given, unless notice of withdrawal is received up to and including 30 June, in which case the Member Body shall only be required to pay the current year’s dues. 4.2 Numbering Definition To ensure transparency and enhance harmonization in the Sectors, the following structure regarding a numbering system shall be used for all REMC and OMC WGs and SGs, as shown in Table 1.

TABLE 1: Working Group and Stakeholder Group Numbering Convention

Title of WG REMC RoP WG001

Assessment & Audit of Quality Systems

WG002

Customer Testing Laboratories WG003

Promotion & Marketing WG004

Infringements WG005

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Finance WG006

Certification of Personnel Competency

WG007

Hybrid/Microgrid Systems WG008

Grid Code Compliance WG009

Future REMC & Common OMC WG

WG010- WG049

Stakeholder Groups SGX50-SGX59

Certification Bodies SGX50

Test Laboratories SGX51

Original Equipment Manufacturers

SGX52

End Users SGX53

Reserved for Sector Specific WGs WGX60-WGX99

NOTE: X = 0 for REMC, X = 3 for ME, X = 4 for PV, X = 5 for WE

4.3 Working Groups (WGs) The Sector OMCs are entitled to create WGs to handle specific assignments. Tasks assigned to the WGs have to clearly be described as Terms of Reference by the OMC. The duties of the WGs shall be carried out under the responsibility of the specific OMC. WGs may make recommendations for approval by their Sector OMC related to their Terms of Reference and assigned tasks. Member Bodies of the OMC may nominate WG members and Conveners. The Convener of a WG is appointed by the OMC Chair in consultation with the OMC Vice-Chair and the IECRE Executive Secretary based on the nomination(s) received. The conveners of the WGs are required to issue reports to the Sector OMCs on all items assigned to them, including the status of completion.

4.4 Stakeholder Groups (SGs) To enhance the involvement of different parties having interest on the effective and continual operation of the IECRE System, a Sector OMC may decide to create SGs. Tasks assigned to the SGs have to clearly be described as Terms of Reference by the OMC. The duties of the SGs shall be carried out under the responsibility of the specific OMC. SGs may make recommendations for approval by their Sector OMC related to their Terms of Reference and assigned tasks. Member Bodies of the OMC may nominate SG members and Conveners. The Convener of a SG is appointed by the OMC Chair in consultation with the OMC Vice-Chair and the IECRE Executive Secretary based on the nomination(s) received. The conveners of the SGs are required to issue reports to the Sector OMCs on all items assigned to them, including the status of completion.

4.5 Task Forces (TFs) The Sector OMCs may establish TFs for a limited task over a given time period specified by the OMC or for a specific technical expertise. Tasks assigned to the TFs have to clearly be described as Terms of Reference by the OMC. The duties of the TFs shall be carried out under the responsibility of the specific OMC. TFs may make recommendations to their Sector OMC related to their Terms of Reference and assigned tasks. Member Bodies of the OMC may nominate TF members and Conveners.

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The Convener of a TF is appointed by the OMC Chair in consultation with the OMC Vice-Chair and the IECRE Executive Secretary based on the nomination(s) received. The conveners of the TFs are required to issue reports to the Sector OMCs on all items assigned to them, including the status of completion.

5 Requirements for Participation in the IECRE System

5.1 Participation IECRE Certification Bodies (RECBs), IECRE Testing Laboratories (RETLs) and IECRE Inspection Bodies (REIBs) approved by the REMC in accordance with the Basic Rules may participate in the IECRE Scheme(s). Applications from organizations seeking acceptance as RECB, RETL or REIB for the purpose of issuing IECRE deliverables shall be endorsed by the Member Body in the IECRE participating country. Reference is made to the Basic Rules regarding country membership of the IECRE System. It is the duty of all parties operating in the IECRE Scheme(s), including manufacturers and other organizations seeking IECRE deliverables, to conduct affairs in a professional and ethical manner that does not result in actions, misleading information or claims that may bring the IEC and/or the IECRE credibility into question. RECBs, RETLs and REIBs are permitted to be independent legal entities and can participate independently in the IECRE System. For IECRE Customer Test Facilities (RECTFs) see Clause 8.4.

6 Deliverables of the IECRE System

6.1 IECRE Test Reports (RETRs)

6.1.1 Overview An RETR is prepared and issued by an RETL. An RETR is not considered a statement of conformity, but may form input to the certification process. If the RETR is to be used to produce a Conformity Statement by an RECB, the RECB shall review the RETR for conformity with the relevant Standard(s) and IECRE requirements.

6.1.2 Description of Equipment The RETR shall contain a clear description of the RE equipment or change to already certified equipment, the name and address of the applicant and the manufacturer and the edition of the Standard, amendments, if any, and relevant national differences. The RETR shall give, as far as necessary, for each clause of the identified Standard a brief reference to the requirements and the results of tests and examinations as per the Standard. The RETR shall also contain the information necessary for identification of the RE equipment such as: type designation, ratings, description, photographs, etc.

6.1.3 Layout The REMC may delegate the OMCs to develop and maintain standardized Test Report Forms for all Standards used in the IECRE System. The front cover sheet of all Test Report Forms shall be common for all Sectors.

6.1.4 Issuing RETRs are intended to be issued in support of IECRE Certificates or Conformity Statements. The RETR may include the reporting of the RE equipment testing results with declared local and/or national differences. The RETR may be used by an RECB when issuing their own local and/or national Certificate or Conformity Statement. An RETR may be issued to cover selected clauses and test results of a Standard. It is the responsibility of the RECB to ensure that they are in possession of sufficient RETRs to cover the full assessment to (a) Standard(s).

6.1.5 Restrictions RETRs shall not be used in any form of advertising or sales promotion to ensure that the information is not misrepresented.

6.1.6 Copies When a copy of an RETR is required, it shall be reproduced in its entirety.

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6.1.7 Ensuring Conformity The manufacturer has the ongoing responsibility to ensure that all RE equipment, for which an RETR is issued, is in accordance with the design of the certified equipment. Failure to do so, and any other misuse of the RETR, could lead to suspension or cancellation of the associated IECRE Certificate or Conformity Statement by the RECB.

6.2 Product Certificates

6.2.1 Overview Product Certificates include Component, Prototype, Type and Project Certificates. Sector specific requirements for Product Certificates shall be developed by the OMCs, if necessary. A Product Certificate is a document issued by an RECB to attest that specific Renewable Energy equipment was fully evaluated according to the applicable Scheme including the relevant requirements of one or more applicable Standard(s) accepted for use in the IECRE System.

6.2.2 Layout The REMC may delegate the OMCs to develop and maintain standardized Product Certificate templates for all Schemes used in the IECRE System. The front cover sheet of all Product Certificates shall be common for all Sectors.

6.2.3 Usage of IECRE Logo Limitations The IECRE logo shall be used on Product Certificates. Additional limitations are provided in Clause 7.1.

6.2.4 Suspension/Withdrawal Product Certificates shall be suspended or withdrawn by the issuing RECB if:

• The Product Certificate is misused;

• The Product Certificate has been issued in error;

• The RE equipment no longer corresponds to the originally tested equipment;

• Incidents revealing serious defects in the RE equipment; or

• The holder of the Product Certificate requests suspension or withdrawal. When a Product Certificate has been suspended or withdrawn, the IECRE Executive Secretary shall be notified as soon as possible by the issuing RECB, which shall state the reason for suspension or withdrawal. The RECB shall inform the manufacturer of the suspension or withdrawal. The IECRE Executive Secretary shall notify all RECBs participating in the IECRE System that the relevant Product Certificate has been suspended or withdrawn, and give the reason for the action taken. The maximum suspension time is one year. If a Product Certificate is suspended, it can be reinstated if the reason for suspension is rectified and the RE equipment is reaffirmed by the RECB. If the RE equipment can’t be reaffirmed within one year, the Product Certificate shall be withdrawn.

6.2.5 Procedures for Handling Product Certificates

6.2.5.1 General An application for obtaining a Product Certificate may be made by an applicant to any RECB accepted for the relevant Scheme. The applicant will be the holder of the Product Certificate.

6.2.5.2 Procedure for Obtaining a Product Certificate The application shall be made and dealt with according to the rules of the RECB to which it is submitted. That RECB shall inform the applicant about the relevant rules and procedures for the selected Scheme and about the information needed for Product Certification. If a Product Certificate is to be issued, the RECB shall enter the necessary data into the IECRE database. The Product Certificate is considered issued once this data has been entered and submitted. The applicant may also request testing to cover national differences in countries in which the Product Certificate is to be used.

6.2.5.3 Procedure for Recognition of Product Certificates When an applicant applies to another RECB to recognize an existing IECRE Product Certificate for national certification or approval of RE equipment on the basis of a Product Certificate, the application

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shall be accompanied by a copy of the Product Certificate together with the relevant certification documents (RETRs, Conformity Statements, Certificates from other IEC CA Systems, etc.) and, if relevant, with attached reports covering national differences and, if required by the RECB, make an RE equipment sample available. The RECB shall evaluate the submitted IECRE Product Certificate regardless of the location of the issuing RECB. If the result of this evaluation is favourable, national certification or approval shall be granted by the RECB without additional evaluation and testing. However, if the IECRE Product Certificate does not cover declared national differences, if any, arrangements shall be made with the applicant to carry out the additional evaluation and testing. The RECB retains the right to further evaluate the RE equipment to ascertain whether or not the RE equipment complies with the relevant Standard(s). Such additional evaluation should be kept to a minimum. Should the RECB receiving an IECRE Product Certificate have any questions and/or issues which may prevent the recognition by the receiving RECB, the RECB that issued the IECRE Product Certificate shall be contacted as soon as possible to resolve the questions and/or issues. If the RECBs involved arrive at different conclusions, the case shall be referred to the IECRE Executive Secretary. The RECBs shall have the right to keep for reference photographs, technical documentation and RE equipment samples or, for large RE equipment, parts of such RE equipment, when required according to their rules. Such reference material shall be confidential.

6.2.6 Specific Requirements for Component Certificates To be developed at a later date.

6.2.7 Specific Requirements for Prototype Certificates To be developed at a later date.

6.2.8 Specific Requirements for Type Certificates To be developed at a later date.

6.2.9 Specific Requirements for Project Certificates To be developed at a later date.

6.3 Conformity Statements To be developed at a later date.

6.4 Inspection Reports To be developed at a later date.

7 Description of IECRE Operational Procedures

7.1 General The IEC, IECRE and combination IEC/IECRE logos are copyrighted and belong to the IEC. Their use is restricted to official documents published by the IEC or the IECRE or both and shall not be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without prior permission in writing from the IECRE Executive Secretary. See OD-006 for additional details on the usage of IEC/IECRE logos.

7.2 Documents

7.2.1 Operational Documents (ODs) and Administrative Documents (ADs) See IECRE website for all REMC and Sector ODs and ADs.

7.2.2 Clarification Sheets See IECRE website for all REMC and Sector Clarification Sheets.

8 Peer Assessment Program

8.1 Acceptance of Renewable Energy Test Laboratories (RETLs) An RETL shall be a third-party laboratory. The RETL assessment shall be made for each specific competence area. This also means that competency for one specific type of test does not imply competency for another specific type of test. The OMCs shall define which specific competency areas

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are relevant for each OMC. Such a competence area shall be defined by reference to (or part of) a Standard within the scope of the IECRE and that contains requirements on how a specific test shall be executed. The assessment of candidate RETLs shall be based on the following five elements: 1) A review of a random sample of historic reports issues for the competence area (to assess

compliance with the referenced Standard). 2) The results of a proficiency test for the competence area. The Proficiency Test Program (PTP)

shall be provided by an organization following the basic principles of ISO/IEC 17043 although the OMCs may deviate from the requirements in this Standard as long as these deviations are described in an approved Operational Document. For some tests it is too expensive/difficult to test multiple samples, in which case the proficiency test may cover a more limited part of the Standard as long as this is defined in an approved OD.

3) A review of the candidate RETL’s own processes and procedures related to the specific competence area.

4) An inspection of an ongoing test (or the installation of a new test) and the related documentation. 5) An assessment of the candidate RETL against ISO/IEC 17025 in case the test laboratory does not

already hold an accreditation for ISO/IEC 17025 for the specific competence area. The OMC shall decide on specific requirements for the assessment to focus on in the form of an Operational Document. The assessment shall follow the principle of peer assessment as described in ISO/IEC 17040 and per IEC/CAB Conformity Assessment Policy (IEC CAB-P01). For some tests (such as a wind tunnel or wave tank or similar) the specific equipment needs to be assessed. Therefore a test laboratory that operates such test facilities in various locations shall have each of these facilities assessed. For some tests (such as performance testing of marine energy conversion systems or loads testing on wind turbines) the test equipment is temporarily installed in a specific location in the field, normally defined by the object to be tested (the marine energy conversion system, the wind turbine or the solar energy plant). Such tests are often monitored from various offices around the world. In this case the candidate RETL may assign one specific office that shall be assessed. Other offices from the same organisation do not need to be assessed as long as they fall under the same quality management system as the office that is being assessed and as long as this office takes responsibility for the quality of the work done in the other offices.

8.1.1 Application as Renewable Energy Test Laboratory (RETL) The candidate RETL shall, via their national Member Body of the IECRE System, make an application for the acceptance as RETL for one or more competence areas as defined by one of the OMCs in the IECRE System. The application shall be submitted to the IECRE Executive Secretary and shall be accompanied by a declaration as detailed in the relevant ODs. In submitting an application, the candidate RETL agrees to comply with the IECRE System Rules including the relevant ODs and Clarification Sheets.

8.1.2 Initial Assessment The candidate RETL shall be assessed to determine that the conditions according to the IECRE System, including the rules and ODs for the specific Certification Scheme(s), are fulfilled. Peer assessors, including a lead assessor, selected from the REMC approved pool of assessors are appointed by the IECRE Executive Secretary and shall carry out the assessment. The team shall also include technical assessors with competency to cover the scope of the RETL’s assessment. The requirements for the assessment may be further detailed in Sector specific rules and ODs covering one or several different Certification Schemes. The candidate RETL shall be given the names and assessment roles of the team of assessors proposed to be appointed by the IECRE Executive Secretary. Candidate RETLs may object "for cause" (reasons to be stated) to the appointment of an assessor(s) to the IECRE Executive Secretary. If the stated reasons are considered sufficient, a new assessor(s) will be appointed. The candidate RETL to be assessed shall accept to pay the professional fees of the team of assessors, as outlined in OD-003, and the reasonable travelling and living expenses arising from the assessment. An estimate of these expenses shall be provided by each assessor and agreed with the candidate RETL in advance. The IECRE Executive Secretary shall manage the assessment process.

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A test laboratory shall be accepted as an RETL by the REMC. The RETL can start to issue IECRE test reports (and use the IECRE logo) after acceptance by the OMC but this shall be confirmed by the REMC within 12 months. The elements of the assessment may indicate (minor) problems in a specific area (such as a report that is not 100% compliant to the Standard). This is not an automatic failure of the assessment as the final recommendation shall be made by the peer assessment team to the OMC and REMC (through the OMC) and can take into account a specific improvement plan.

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IECRE 02:2019 © IEC 2019 – 13 –

8.1.3 New Entrant Assessment For consideration to be developed at a later date.

8.1.4 Resolution of Differences During the assessment, the assessment team shall prepare a draft assessment report that shall be discussed with the management of the applicant RETL. Efforts should be made to resolve any differences of opinion between the assessors and the applicant during the closing meeting. Non-conformities shall be reported at the conclusion of the closing meeting and a time frame for resolving them shall be agreed. After this time frame, the final full assessment report shall be prepared.

8.1.5 Acceptance The lead assessor shall submit to the IECRE Executive Secretary a full assessment report containing the recommendations of the assessment team, taking into account the declaration submitted together with the application. The IECRE Secretariat shall develop a summary assessment report based on the approved summary assessment report template. Upon successful assessment the IECRE Executive Secretary shall provide the summary assessment report to the relevant OMC(s) and recommend to the relevant Sector OMC(s) acceptance of the candidate RETL at an OMC meeting or by correspondence. Prior to distribution to the OMC(s), a copy of the summary assessment report shall be submitted to the representatives of the candidate RETL for their review and consideration related to confidentiality matters. A full assessment report shall also be shared with the candidate RETL and the IECRE Executive Secretary, but is otherwise confidential and will thus not be shared with the OMC(s) or the REMC. If comments received during OMC voting result in the assessment team or IECRE Executive Secretary reconsidering the recommendation for RETL provisional acceptance, the applicant and the OMC(s) shall be notified of the withdrawal of the initial recommendation for RETL provisional acceptance. If the Sector OMC(s) accepts the recommendation without substantive comments then the IECRE Executive Secretary shall submit this recommendation, and the summary assessment report, to the REMC for approval, normally at the annual REMC meeting. Once the full assessment report has been deemed acceptable by the IECRE Executive Secretary and the summary assessment report has been deemed acceptable by the Sector OMC(s), provisional approval is granted. Provisional approval allows the RETL to operate fully in the System. The RETL is permitted to issue IECRE Test Reports.

8.1.6 Notification If the decision of the OMC(s) and REMC is positive, the IECRE Executive Secretary shall inform the RETL of approval. If the decision of the OMC(s) or REMC is negative, the provisional approval shall be withdrawn. The IECRE Executive Secretary shall inform the RETL and may, depending on the findings, suggest to the RETL:

• to withdraw the application, or

• to accept a new assessment Based on a negative decision by the OMC(s) or REMC, the RETL shall withdraw all System deliverables issued during the provisional approval period.

8.1.7 Changes The RETL shall inform the IECRE Executive Secretary about significant changes (organizational changes, changes to the quality management system, change in location, etc.) in the formal information given in the application, and possibly supplemented in the full assessment report, within 4 weeks after these changes happen. The IECRE Executive Secretary, in consultation with select members of the peer assessment pool, shall review these changes and determine if a re-assessment is needed.

8.1.8 Extension of Scope When an RETL wishes to extend its scope in the IECRE System, an application shall be made to the IECRE Executive Secretary. The assessment of the extended scope shall follow the same procedure as the initial assessment.

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The lead assessor shall submit to the IECRE Executive Secretary a summary assessment report containing the recommendations of the assessment team, taking into account the declaration submitted together with the application. Such a summary assessment report shall not include the RETRs, round robin or proficiency testing results or management system procedures that were the basis of the assessment but shall include sufficient details from these sources to give the technical background for the recommendation. ¶A copy of the summary assessment report shall be submitted to the representatives of the candidate RETL.¶

Moved down [1]: A full assessment report will also be shared with the candidate RETL and the IECRE Executive Secretary, but is otherwise confidential and will thus not be shared with the OMC(s) or the REMC.

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– 14 – IECRE 02:2019 © IEC 2019

8.1.9 Re-Assessment The acceptance of the RETL is valid for a period of maximum five years and the Sector specific OD may give further details with respect to the validity period (but cannot exceed the five years). The re-assessment shall follow the same procedure as the initial assessment except that non-conformities shall be resolved within 3 months. The IECRE Executive Secretary shall notify RETLs early in the year as to when their re-assessment is required for that year. The RETL shall then apply for re-assessment within one month of the notification. In case of unsuccessful re-assessment or refusal, the RETL shall be suspended.

8.1.10 Withdrawal Requested by RETL An RETL wishing to withdraw from the IECRE System shall notify the IECRE Executive Secretary via the national Member Body of the IECRE System at least one year in advance and shall indicate the reason for withdrawal and the date from which the withdrawal becomes effective.

8.1.11 Suspension and Withdrawal A RETL may be suspended for non-payment of fees or for violation of any rules or violation of the spirit and intent of the IECRE System’s objectives and goals related to the facilitation of international trade and reciprocity of such. Any proposal to suspend an RETL, or to cancel such suspension, shall require agreement by a majority of at least two-thirds of the total number of eligible votes received from the IECRE System Member Bodies, with abstentions and non-votes not being counted, except in the case of suspension for non-payment of fees as decided by the REMC, in which case the IECRE Executive Secretary may take the administrative action of suspension. If the suspension of the RETL has not been cancelled during the year after which the decision was taken, the RETL concerned ceases to participate in the IECRE System (i.e. issue IECRE deliverables) and is fully withdrawn. Suspended RETLs shall not be permitted to participate in the IECRE System during the period of suspension and shall have no right to issue IECRE System deliverables or receive documents and publications of the IECRE System. RETLs whose suspension has been cancelled and have been reinstated shall submit a new application, including any application fees, as well as outstanding fees, and shall undergo a full initial assessment. However, an RETL suspended only for the failure to pay fees can be reinstated upon fee payment without a new application. An RETL who is withdrawn is required to re-apply as a new RETL applicant.

8.2 Acceptance of Renewable Energy Certification Bodies (RECBs) The assessment of candidate RECBs shall be based on the following two elements:

• The competence of the RECB shall be demonstrated by peer assessment in line with ISO/IEC 17040 and detailed in the Sector specific ODs covering the specific Certification Scheme; and

• Accreditation requirements to ISO/IEC 17065 shall be defined in the Sector level Rules of Procedure.

8.2.1 Application as Renewable Energy Certification Body (RECB) The candidate RECB, via their national Member Body of the IECRE System, shall make an application for the acceptance as RECB for one or more Certification Schemes which are accepted for use in the IECRE Conformity Assessment System. The application shall be submitted to the IECRE Executive Secretary and shall be accompanied by a declaration as detailed in the relevant ODs. In submitting an application, the candidate RECB agrees to comply with the IECRE System Rules including the ODs covering the specific Certification Scheme(s) and Clarifications Sheets.

8.2.2 Initial Assessment The candidate RECB shall be assessed to determine that the conditions according to the IECRE System, including the rules and ODs for the specific Certification Scheme(s), are fulfilled. Peer assessors, including a lead assessor, selected from the REMC approved pool of assessors are appointed by the IECRE Executive Secretary and shall carry out the assessment. The team shall also include technical assessors with competency to cover the scope of the RECB’s assessment. The requirements for the assessment may be further detailed in Sector specific rules and ODs covering one or several different Certification Schemes. The candidate RECB shall be given the names and assessment roles of the team of assessors proposed to be appointed by the IECRE Executive Secretary. Candidate RECBs may object "for

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A certification body shall be accepted as an RECB by the REMC and given the right to issue IECRE deliverables, according to the IECRE Scheme(s), under the following conditions:

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IECRE 02:2019 © IEC 2019 – 15 –

cause" (reasons to be stated) to the appointment of an assessor(s) to the IECRE Executive Secretary. If the stated reasons are considered sufficient, a new assessor(s) will be appointed. The candidate RECB to be assessed shall accept to pay the professional fees of the team of assessors, as outlined in OD-003, and the reasonable travelling and living expenses arising from the assessment. An estimate of these expenses shall be provided by each assessor and agreed with the candidate RECB in advance. The IECRE Executive Secretary shall manage the assessment process.


8.2.4 Resolution of Differences During the assessment, the assessment team shall prepare a draft assessment report that shall be discussed with the management of the applicant RECB. Efforts should be made to resolve any differences of opinion between the assessors and the applicant during the closing meeting. Non-conformities shall be reported at the conclusion of the closing meeting and a time frame for resolving them shall be agreed. After this time frame, the final assessment report shall be prepared.

8.2.5 Acceptance The lead assessor shall submit to the IECRE Executive Secretary a full assessment report containing the recommendations of the assessment team, taking into account the declaration submitted together with the application. The IECRE Secretariat shall develop a summary assessment report based on the approved summary assessment report template. Upon successful assessment the IECRE Executive Secretary shall provide the summary assessment report to the relevant OMC(s) and recommend to the relevant Sector OMC(s) acceptance of the candidate RECB at an OMC meeting or by correspondence. Prior to distribution to the OMC(s), a copy of the summary assessment report shall be submitted to the representatives of the candidate RECB for their review and consideration related to confidentiality matters. A full assessment report shall also be shared with the candidate RECB and the IECRE Executive Secretary, but is otherwise confidential and will thus not be shared with the OMC(s) or the REMC. If comments received during OMC voting result in the assessment team or IECRE Executive Secretary reconsidering the recommendation for RECB provisional acceptance, the applicant and the OMC(s) shall be notified of the withdrawal of the initial recommendation for RECB provisional acceptance. If the Sector OMC(s) accepts the recommendation without substantive comments then the IECRE Executive Secretary shall submit this recommendation, and the summary assessment report, to the REMC for approval, normally at the annual REMC meeting. Once the full assessment report has been deemed acceptable by the IECRE Executive Secretary and the summary assessment report has been deemed acceptable by the Sector OMC(s), provisional approval is granted. Provisional approval allows the RECB to operate fully in the System. The RECB is permitted to issue IECRE certification deliverables.

8.2.6 Notification If the decision of the OMC(s) and REMC is positive, the IECRE Executive Secretary shall inform the RECB of approval. If the decision of the OMC(s) or REMC is negative, the provisional approval shall be withdrawn. The IECRE Executive Secretary shall inform the RECB and may, depending on the findings, suggest to the RECB:


• to accept a new assessment Based on a negative decision by the OMC(s) or REMC, the RECB shall withdraw all System deliverables issued during the provisional approval period.

8.2.7 Changes The RECB shall inform the IECRE Executive Secretary about significant changes (organizational changes, changes to the quality management system, change in location, etc.) in the formal information given in the application, and possibly supplemented in the full assessment report, within 4 weeks after these changes happen. The IECRE Executive Secretary, in consultation with select members of the peer assessment pool, shall review these changes and determine if a re-assessment is needed.

Deleted: The candidate RECB shall be assessed to determine that the conditions according to the IECRE System, including the rules and ODs for the specific Certification Scheme(s), are fulfilled. Peer assessors approved by the OMCs and appointed by the IECRE Executive Secretary shall carry out the assessment. The peer assessment team is appointed by the IECRE Executive Secretary and includes a lead assessor. The team shall also include technical assessors with competency to cover the scope of the RECB’s assessment.¶The requirements for the assessment may be further detailed in Sector specific rules and ODs covering one or several different Certification Schemes.¶The candidate RECB shall be given the names and current appointments of the team of assessors proposed to be appointed by the IECRE Executive Secretary. Candidate RECBs may object "for cause" (reasons to be stated) to the appointment of an assessor(s) to the IECRE Executive Secretary. If the stated reasons are considered sufficient, a new assessor(s) will be appointed.¶The candidate RECB to be assessed shall accept to pay the ...

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The lead assessor shall submit to the IECRE Executive Secretary a summary assessment report containing the recommendations of the assessment team, taking into account the declaration submitted together with the application. Such a summary assessment report shall not include the certificates, Conformity Statements, evaluation reports and management system procedures that were the basis of the assessment but shall include sufficient details from these sources to give the technical ...

Deleted: Upon successful assessment the IECRE Executive Secretary shall provide the summary assessment report to the relevant OMC(s) and recommend the relevant Sector OMC(s) to accept the candidate RECB at an OMC meeting or by correspondence. If the Sector OMC(s) accepts the recommendation then the IECRE Executive Secretary will submit this recommendation, and the summary assessment report, to the REMC for approval. ¶Once the recommendation to approve from the lead assessor is ...Deleted: will

– 16 – IECRE 02:2019 © IEC 2019

8.2.8 Extension of Scope When an RECB wishes to extend its scope in the IECRE System, an application shall be made to the IECRE Executive Secretary. The assessment of the extended scope shall follow the same procedure as the initial assessment.

8.2.9 Re-Assessment The acceptance of the RECB is valid for a period of maximum five years and the Sector specific OD may give further details with respect to the validity period (but cannot exceed the five years). The re-assessment shall follow the same procedure as the initial assessment except that non-conformities shall be resolved within 3 months. The IECRE Executive Secretary shall notify RECBs early in the year as to when their re-assessment is required for that year. The RECB shall then apply for re-assessment within one month of the notification. In case of unsuccessful re-assessment or refusal, the RECB shall be suspended.

8.2.10 Withdrawal Requested by RECB An RECB wishing to withdraw from the IECRE Conformity Assessment System shall notify the IECRE Executive Secretary via the national Member Body of the IECRE System at least one year in advance and shall indicate the reason for withdrawal and the date from which the withdrawal becomes effective.

8.2.11 Suspension and Withdrawal A RECB may be suspended for non-payment of fees or for violation of any rules or violation of the spirit and intent of the IECRE System’s objectives and goals related to the facilitation of international trade and reciprocity of such. Any proposal to suspend an RECB, or to cancel such suspension, shall require agreement by a majority of at least two-thirds of the total number of eligible votes received from the IECRE System Member Bodies, with abstentions and non-votes not being counted, except in the case of suspension for non-payment of fees as decided by the REMC, in which case the IECRE Executive Secretary may take the administrative action of suspension. If the suspension of the RECB has not been cancelled during the year after which the decision was taken, the RECB concerned ceases to participate in the IECRE System (i.e. issue IECRE deliverables) and is fully withdrawn. Suspended RECBs shall not be permitted to participate in the IECRE System during the period of suspension and shall have no right to issue IECRE System deliverables or receive documents and publications of the IECRE System. RECBs whose suspension has been cancelled and have been reinstated shall submit a new application, including any application fees, as well as outstanding fees, and shall undergo a full initial assessment. However, an RECB suspended only for the failure to pay fees can be reinstated upon fee payment without a new application. RECB who is withdrawn is required to re-apply as a new RECB applicant.

8.3 Acceptance of Renewable Energy Inspection Bodies (REIBs) The assessment of candidate REIBs shall be based on the following two elements:

• The competence of the REIB shall be demonstrated by peer assessment in line with ISO/IEC 17040 and detailed in the Sector specific ODs covering the specific Certification Scheme; and

• Accreditation requirements to ISO/IEC 17020 shall be defined in the Sector level Rules of Procedure.

8.3.1 Application as Renewable Energy Inspection Body (REIB) The candidate REIB, via their national Member Body of the IECRE System, shall make an application for the acceptance as REIB for one or more Certification Schemes which are accepted for use in the IECRE Conformity Assessment System. The application shall be submitted to the IECRE Executive Secretary and shall be accompanied by a declaration as detailed in the relevant ODs. In submitting an application, the candidate REIB agrees to comply with the IECRE System Rules including the ODs covering the specific Certification Scheme(s) and Clarifications Sheets.

8.3.2 Initial Assessment The candidate REIB shall be assessed to determine that the conditions according to the IECRE System, including the rules and ODs for the specific Certification Scheme(s), are fulfilled. Peer assessors, including a lead assessor, selected from the REMC approved pool of assessors are

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IECRE 02:2019 © IEC 2019 – 17 –

appointed by the IECRE Executive Secretary and shall carry out the assessment. The team shall also include technical assessors with competency to cover the scope of the REIB’s assessment. The requirements for the assessment may be further detailed in Sector specific rules and ODs covering one or several different Certification Schemes. The candidate REIB shall be given the names and assessment roles of the team of assessors proposed to be appointed by the IECRE Executive Secretary. Candidate REIBs may object "for cause" (reasons to be stated) to the appointment of an assessor(s) to the IECRE Executive Secretary. If the stated reasons are considered sufficient, a new assessor(s) will be appointed. The candidate REIB to be assessed shall accept to pay the professional fees of the team of assessors, as outlined in OD-003, and the reasonable travelling and living expenses arising from the assessment. An estimate of these expenses shall be provided by each assessor and agreed with the candidate REIB in advance. The IECRE Executive Secretary shall manage the assessment process.


8.3.4 Resolution of Differences During the assessment, the assessment team shall prepare a draft assessment report that shall be discussed with the management of the applicant REIB. Efforts should be made to resolve any differences of opinion between the assessors and the applicant during the closing meeting. Non-conformities shall be reported at the conclusion of the closing meeting and a time frame for resolving them shall be agreed. After this time frame, the final assessment report shall be prepared.

8.3.5 Acceptance The lead assessor shall submit to the IECRE Executive Secretary a full assessment report containing the recommendations of the assessment team, taking into account the declaration submitted together with the application. The IECRE Secretariat shall develop a summary assessment report based on the approved summary assessment report template. Upon successful assessment the IECRE Executive Secretary shall provide the summary assessment report to the relevant OMC(s) and recommend to the relevant Sector OMC(s) acceptance of the candidate REIB at an OMC meeting or by correspondence. Prior to distribution to the OMC(s), a copy of the summary assessment report shall be submitted to the representatives of the candidate REIB for their review and consideration related to confidentiality matters. A full assessment report shall also be shared with the candidate REIB and the IECRE Executive Secretary, but is otherwise confidential and will thus not be shared with the OMC(s) or the REMC. If comments received during OMC voting result in the assessment team or IECRE Executive Secretary reconsidering the recommendation for REIB provisional acceptance, the applicant and the OMC(s) shall be notified of the withdrawal of the initial recommendation for REIB provisional acceptance. If the Sector OMC(s) accepts the recommendation without substantive comments then the IECRE Executive Secretary shall submit this recommendation, and the summary assessment report, to the REMC for approval, normally at the annual REMC meeting. Once the full assessment report has been deemed acceptable by the IECRE Executive Secretary and the summary assessment report has been deemed acceptable by the Sector OMC(s), provisional approval is granted. Provisional approval allows the REIB to operate fully in the System. The REIB is permitted to issue IECRE Inspection Reports.

8.3.6 Notification If the decision of the OMC(s) and REMC is positive, the IECRE Executive Secretary shall inform the REIB of approval. If the decision of the OMC(s) or REMC is negative, the provisional approval shall be withdrawn. The IECRE Executive Secretary shall inform the REIB and may, depending on the findings, suggest to the REIB:


• to accept a new assessment Based on a negative decision by the OMC(s) or REMC, the REIB shall withdraw all System deliverables issued during the provisional approval period.

– 18 – IECRE 02:2019 © IEC 2019

8.3.7 Changes The REIB shall inform the IECRE Executive Secretary about significant changes (organizational changes, changes to the quality management system, change in location, etc.) in the formal information given in the application, and possibly supplemented in the full assessment report, within 4 weeks after these changes happen. The IECRE Executive Secretary, in consultation with select members of the peer assessment pool, shall review these changes and determine if a re-assessment is needed.

8.3.8 Extension of Scope When an REIB wishes to extend its scope in the IECRE System, an application shall be made to the IECRE Executive Secretary. The assessment of the extended scope shall follow the same procedure as the initial assessment.

8.3.9 Re-Assessment The acceptance of the REIB is valid for a period of maximum five years and the Sector specific OD may give further details with respect to the validity period (but cannot exceed the five years). The re-assessment shall follow the same procedure as the initial assessment except that non-conformities shall be resolved within 3 months. The IECRE Executive Secretary shall notify REIBs early in the year as to when their re-assessment is required for that year. The REIB shall then apply for re-assessment within one month of the notification. In case of unsuccessful re-assessment or refusal, the REIB shall be suspended.

8.3.10 Withdrawal Requested by REIB An REIB wishing to withdraw from the IECRE Conformity Assessment System shall notify the IECRE Executive Secretary via the national Member Body of the IECRE System at least one year in advance and shall indicate the reason for withdrawal and the date from which the withdrawal becomes effective.

8.3.11 Suspension and Withdrawal A REIB may be suspended for non-payment of fees or for violation of any rules or violation of the spirit and intent of the IECRE System’s objectives and goals related to the facilitation of international trade and reciprocity of such. Any proposal to suspend an REIB, or to cancel such suspension, shall require agreement by a majority of at least two-thirds of the total number of eligible votes received from the IECRE System Member Bodies, with abstentions and non-votes not being counted, except in the case of suspension for non-payment of fees as decided by the REMC, in which case the IECRE Executive Secretary may take the administrative action of suspension. If the suspension of the REIB has not been cancelled during the year after which the decision was taken, the REIB concerned ceases to participate in the IECRE System (i.e. issue IECRE deliverables) and is fully withdrawn. Suspended REIBs shall not be permitted to participate in the IECRE System during the period of suspension and shall have no right to issue IECRE System deliverables or receive documents and publications of the IECRE System. REIBs whose suspension has been cancelled and have been reinstated shall submit a new application, including any application fees, as well as outstanding fees, and shall undergo a full initial assessment. However, an REIB suspended only for the failure to pay fees can be reinstated upon fee payment without a new application. REIB who is withdrawn is required to re-apply as a new REIB applicant. 8.4 Acceptance of Renewable Energy Customer Test Facilities (RECTFs) The scope of this clause is to define requirements for RE Customer Test Facility (RECTF) for performing tests within competence areas defined by the IECRE scheme. The requirements shall ensure that the independency and validity of tests performed by laboratories complying with these requirements can be trusted and the resulting test reports can be used with confidence for design and certification work. An RECTF is a facility covering 1st and 2nd party testing. See Table 2 below for definitions according to IEC 17000.

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IECRE 02:2019 © IEC 2019 – 19 –

Table 2: Definition of Test Laboratories

1st Party The OEM (Original Equipment Manufacturer) makes the “object”. Includes also the OCM (Original Component Manufacturer).

2nd Party End user or their agent – the one that uses the “object”. 3rd Party Independent of OEM, OCM and End-User. The RECTF assessment shall be made specific for each competence area. This also means that competency for one specific type of test does not imply competency for another specific type of test. The OMCs shall define which competency areas are relevant for the specific OMCs. Such a competence area shall be defined by reference to (or part of) an ISO/IEC Standard that contains requirements on how a specific test shall be executed. In the absence of ISO/IEC Standards containing specific test requirements a non-standardized / proprietary method may be followed if included under the scope of RECTF assessment performed by peers. Being assessed as an RECTF allows greater flexibility and control for OEMs of their evaluation and testing programs required under the IECRE Conformity Assessment Scheme. As tests performed by RECTFs are executed for various purposes, several RECTF stages are identified:

• Stage 1 – Also known as Testing at Manufacturers Premises/Off-Site Testing, where the full testing scope is carried out by an approved RETL or RECB staff at the RECTF facility.

• Stage 2 – Also known as Witness Testing, where the test is performed by RECTF staff and witnessed by an approved RETL or RECB.

• Stage 3 – Also known as Test Data Acceptance, where RECTF staff and facility are assessed and qualified to produce their own test data and preliminary evaluations where only selected parts of the test programs are witnessed by an approved RETL or RECB.

• Stage 4 – Also known as Test Data and Evaluation Acceptance, where RECTF staff and facility are assessed and qualified to produce their own test data, evaluation, and test reports where only selected parts of the test programs are witnessed by an approved RETL or RECB.

Table 3 below depicts the various RECTF Stages and the varying responsibilities of the RECTF, RETL, and RECB.

Table 3: RECTF Stages and Responsibilities

The requirements shall ensure that the independency and validity of test performed by facilities complying with these requirements can be trusted and used with confidence for design and certification work at the same level as 3rd party IEC approved test labs (RETL) and certification bodies (RECB). Under no circumstances does the acceptance of an RECTF apply to agent laboratories or subcontractors. Only the OEM staff and facilities originally assessed under the peer assessment and initial qualification of the RECTF are approved to perform testing and/or evaluation under this program. The assessment of candidate RECTFs is based on the desired Stage of the RECTF per Table 3 above. The OMC shall decide on specific requirements for the assessment in the form of Sector specific OD(s) for initial and re-assessment of RECTFs under each RE sector. The assessment shall be carried out by an RECB, RETL or independent expert at the request of the OMC in accordance with the relevant requirements defined in the Sector OD(s). For some tests (such as a wind tunnel or wave tank or similar) the specific equipment needs to be assessed. Therefore a test laboratory that operates such test facilities in various locations will have to have each of these facilities assessed.

Facility Testing Evaluation Report Review

Stage 1 RECTF RETL / RECB RETL / RECB RETL / RECB RETL / RECB

Stage 2 RECTF RECTF and TL / CB RETL / RECB RETL / RECB RETL / RECB

Stage 3 RECTF RECTF RECTF and TL / CB RETL / RECB RETL / RECB

Stage 4 RECTF RECTF RECTF RECTF RETL / RECB

RESPONSIBILITY

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8.4.1 Application as Renewable Energy Customer Test Facility (RECTF) The candidate RECTF shall, via their national Member Body of the IECRE System, make an application for the acceptance as RECTF for one or more competence areas as defined by one of the OMCs in the IECRE System. The application shall be submitted to the IECRE Executive Secretary and shall be accompanied by a declaration as detailed in the relevant ODs. In submitting the application, the candidate RECTF agrees to comply with the IECRE System Rules including the relevant ODs and Clarification Sheets. 8.4.2 Initial Assessment The candidate RECTF shall be assessed to determine that the conditions according to the IECRE System, including the rules and ODs for the specific Certification Scheme(s), are fulfilled. Assessors including a lead assessor, selected from the REMC approved pool of assessors are appointed by the IECRE Executive Secretary and shall carry out the assessment. The team shall also include technical assessors with competency to cover the scope of the RECTF assessment. The requirements for the assessment may be further detailed in Sector specific rules and ODs covering one or several different Certification Schemes. The candidate RECTF shall be given the names and current appointments of the team of assessors proposed to be appointed by the IECRE Executive Secretary. Candidate RECTF may object "for cause" (reasons to be stated) to the appointment of an assessor(s) to the IECRE Executive Secretary. If the stated reasons are considered sufficient, a new assessor(s) will be appointed. The candidate RECTF to be assessed shall accept to pay the professional fees of the team of assessors, as outlined in OD-003, and the reasonable travelling and living expenses arising from the assessment. An estimate of these expenses shall be provided by each assessor and agreed with the candidate RECTF in advance. The IECRE Executive Secretary shall manage the assessment process. 8.4.3 New Entrant Assessment

For consideration to be developed at a later date.

8.4.4 Resolution of Differences During the assessment, the assessment team shall prepare a draft assessment report based on Sector specific OD(s) that shall be discussed with the management of the applicant RECTF. Efforts should be made to resolve any differences of opinion between the assessors and the applicant during the closing meeting. Non-conformities shall be reported at the conclusion of the closing meeting and a time frame for resolving them shall be agreed. After this time frame, the final assessment report shall be prepared. 8.4.5 Acceptance The lead assessor shall submit to the IECRE Executive Secretary a full assessment report containing the recommendations of the assessment team, taking into account the declaration submitted together with the application. The IECRE Secretariat shall develop a summary assessment report based on the approved summary assessment report template. Upon successful assessment the IECRE Executive Secretary shall provide the summary assessment report to the relevant OMC(s) and recommend the relevant Sector OMC(s) to accept the candidate RECTF at an OMC meeting or by correspondence. Prior to distribution to the OMC(s), a copy of the summary assessment report shall be submitted to the representatives of the candidate RECTF for their review and consideration related to confidentiality matters. A full assessment report shall also be shared with the candidate RECTF and the IECRE Executive Secretary, but is otherwise confidential and will thus not be shared with the OMC(s) or the REMC. If comments received during OMC voting result in the assessment team or IECRE Executive Secretary reconsidering the recommendation for RECTF provisional acceptance, the applicant and the OMC(s) shall be notified of the withdrawal of the initial recommendation for RECTF provisional acceptance.

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A customer facility shall be accepted as an RECTF by the REMC. Reports resulting from testing and/or evaluation performed at the approved RECTF can be issued (and use the IECRE logo) after acceptance by the OMC but this shall be confirmed by the REMC within 12 months. The reporting author is determined based on the approved Stage of the RECTF per Table 2 above. The elements of the assessment may indicate (minor) problems in a specific area (such as a report that is not 100% compliant to the Standard). This is not an automatic failure of the assessment as the final recommendation shall be made by the assessment team to the OMC and REMC (through the OMC) and can consider a specific improvement plan.¶

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Deleted: Assessors approved by the OMCs and appointed by the IECRE Executive Secretary shall carry out the assessment. The assessment team is appointed by the IECRE Executive Secretary and includes a lead assessor.

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If the Sector OMC(s) accepts the recommendation without substantive comments then the IECRE Executive Secretary shall submit this recommendation, and the summary assessment report, to the REMC for approval, normally at the annual REMC meeting. Once the full assessment report has been deemed acceptable by the IECRE Executive Secretary and the summary assessment report has been deemed acceptable by the Sector OMC(s), provisional approval is granted. Provisional approval allows the RECTF to operate fully in the System. The RECTF is permitted to issue test reports, and the reporting entity is determined, based on the approved Stage of the RECTF per Table 3 above. Acceptance of RECTF test reports is covered in Sector specific ODs. 8.4.6 Notification If the decision of the OMC(s) and REMC is positive, the IECRE Executive Secretary shall inform the RECTF of approval. If the decision of the OMC(s) or REMC is negative, the provisional approval shall be withdrawn. The IECRE Executive Secretary shall inform the RECTF and may, depending on the findings, suggest to the RECTF: • to withdraw the application, or • to accept a new assessment Based on a negative decision by the OMC(s) or REMC, the RECTF shall withdraw all System deliverables issued during the provisional approval period. 8.4.7 Changes The RECTF shall inform the IECRE Executive Secretary about significant changes (organizational changes, changes to the quality management system, change in location, etc.) in the formal information given in the application, and possibly supplemented in the full assessment report, within 4 weeks after these changes happen. The IECRE Executive Secretary, in consultation with select members of the assessment pool, shall review these changes and determine if a re-assessment is needed. 8.4.8 Extension of Scope When an RECTF wishes to extend its scope in the IECRE System, an application shall be made to the IECRE Executive Secretary. The assessment of the extended scope shall follow the same procedure as the initial assessment. 8.4.9 Re-Assessment The period of validity of the acceptance of the RECTF varies depending on Stage as shown in Table 3, but is for a maximum three years. The Sector specific OD may give further details with respect to the validity period (but cannot exceed the three years). The re-assessment shall follow the same procedure as the initial assessment except that non-conformities shall be resolved within 3 months. The IECRE Executive Secretary shall notify RECTF early in the year as to when their re-assessment is required for that year. The RECTF shall then apply for re-assessment within one month of the notification. In case of unsuccessful re-assessment or refusal, the RECTF will be suspended. 8.4.10 Withdrawal Requested by RECTF An RECTF wishing to withdraw from the IECRE System shall notify the IECRE Executive Secretary via the national Member Body of the IECRE System at least one year in advance and shall indicate the reason for withdrawal and the date from which the withdrawal will become effective. 8.4.11 Suspension and Withdrawal A RECTF may be suspended for non-payment of fees or for violation of any rules or violation of the spirit and intent of the IECRE System’s objectives and goals related to the facilitation of international trade and reciprocity of such. Any proposal to suspend an RECTF, or to cancel such suspension, shall require agreement by a majority of at least two-thirds of the total number of eligible votes received from the IECRE System Member Bodies, with abstentions and non-votes not being counted, except in

Deleted: If the Sector OMC(s) accepts the recommendation then the IECRE Executive Secretary will submit this recommendation, and the summary assessment report, to the REMC for approval. ¶¶Such a summary assessment report shall include sufficient details from the assessment to give the technical background for the recommendation. A copy of the summary assessment report shall be submitted to the representatives of the candidate RECTF . A full assessment report will also be shared with the candidate RECTF and the IECRE Executive Secretary, but is otherwise confidential and will thus not be shared with the OMC(s) or the REMC.¶¶Acceptance¶Once the recommendation to approve from the lead assessor is submitted to the IECRE Executive Secretary, and the full assessment report has been deemed acceptable by the IECRE Executive Secretary, provisional approval is granted. Provisional approval allows the RECTF to operate fully in the System.

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the case of suspension for non-payment of fees as decided by the REMC, in which case the IECRE Executive Secretary may take the administrative action of suspension. If the suspension of the RECTF has not been cancelled during the year after which the decision was taken, the RECTF concerned ceases to participate in the IECRE System (i.e. issue IECRE deliverables) and is fully withdrawn. Suspended RECTF shall not be permitted to participate in the IECRE System during the period of suspension and shall have no right to issue IECRE System deliverables or receive documents and publications of the IECRE System. RECTF whose suspension has been cancelled and have been reinstated must submit a new application, including any application fees, as well as outstanding fees, and must undergo a full initial assessment. However, an RECTF suspended only for the failure to pay fees can be reinstated upon fee payment without a new application. An RECTF who is withdrawn must reapply as a new RECTF applicant.

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Annex A – OMC Terms of Reference

Scope

1. Each sector Operational Management Committee (OMC) shall prepare and operate international Conformity Assessment Schemes within its specified sector based on the applicable IECRE Rules.

2. In operating the Schemes within their sector(s), each OMC shall involve affected stakeholders. 3. The OMC shall support the future development of its sector to provide value to stakeholders. 4. In reporting to the REMC, the duties of each OMC are to operate as a management committee to:

A.1 Schemes, Rules, Procedures and Standards

A.1.1 Identify appropriate schemes required for its sector and make recommendations for approval by REMC.

A.1.2 Develop Rules of Procedure and Operational Documents specific to its sector for REMC approval.

A.1.3 Define the scope, requirements and applicable standards to be used for each scheme approved by the REMC for its sector.

A.2 Alignment

A.2.1 Ensure a consistent application and common understanding of interpretations of international standards, conformity assessment processes and test method procedures within its sector.

A.2.2 Ensure alignment between the Rules of Procedure and Operational Documents specific to its sector with those of the IECRE.

A.2.3 Ensure a common approach to the application of IECRE Scheme Rules and Operational Documents where applicable within its sector.

A.3 Applications Regarding Conformity Assessment

A.3.1 Prepare a proposal for decisions regarding applications and continued operation of conformity assessment bodies (e.g., Certification Bodies, Testing Laboratories), within each OMC’s sector, for approval by REMC.

A.4 Conformity Assessment

A.4.1 Ensure mutual recognition among RECBs, RETLs and REIBs and manage national differences within its sector.

A.4.2 Provide oversight and coordination of requirements to ensure a transparent and independent certification process for the sector.

A.4.3 Provide coordination of requirements for component certification within its sector and under other IEC systems (i.e., IECEE if appropriate).

A.4.4 Review and harmonize requests for interpretation of existing standards and the conformity assessment process used within its sector;

A.4.5 Publish results of interpretations and conclusions regarding conformity assessment and test procedures.

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A.5 Stakeholder Engagement

A.5.1 Identify and encourage a balanced representation of stakeholders on the OMC reflecting its sector as required by the IECRE System.

A.5.2 Respond and discuss identified issues within its sector to stakeholders to ensure relevance and appropriate schemes to address stakeholder identified needs.

A.5.3 Respond to and provide a common understanding regarding identified concerns (i.e., risk) raised by affected stakeholders regarding the sector or the operation of the scheme within its sector.

A.6 Relationship with TCs/SCs

A.6.1 Establish liaisons with relevant TCs/SCs to increase collaboration, provide guidance, and monitor standards development within each OMC’s sector.

A.6.2 Identify changes to technical requirements necessary to operate the IECRE Schemes within each OMC’s sector and communicate these needs to the appropriate Technical Committees.

A.7 Promotion of Schemes

A.7.1 Support mutual recognition among member countries.

A.7.2 Support the promotion of the IECRE Schemes in its sector in conjunction with the REMC.

A.8 WGs, SGs, TFs.

A.8.1 Propose appropriate OMC Working Groups, Stakeholder Groups or Task Forces for its sector to the REMC.

INTERNATIONAL IEC SYSTEM FOR CERTIFICATION TO STANDARDS ELECTROTECHNICAL RELATING TO EQUIPMENT FOR USE IN RENEWABLE COMMISSION ENERGY APPLICATIONS (IECRE SYSTEM) IECRE Secretariat c/o IEC 3, rue de Varembé 3, rue de Varembé PO Box 131 PO Box 131 CH-1211 Geneva 20 CH-1211 Geneva 20 Switzerland Switzerland Tel: + 41 22 919 02 11 Tel: + 41 22 919 02 11 [email protected] [email protected] www.iec.ch www.iecre.org